SIE Exam Practice Questions and Answers (100% Pass)
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Course
SIE
Institution
SIE
SIE Exam Practice Questions and Answers (100% Pass)
SEC Rule 147 provided - Answer️️ -an exemption from the 1933 Act for certain
types of offerings
A covered person fails to complete the regulatory element when required -
Answer️️ -this individual is RESTRICTED from receiving compensati...
SIE Exam Practice Questions and Answers (100% Pass)
SEC Rule 147 provided - Answer✔️✔️-an exemption from the 1933 Act for certain
types of offerings
A covered person fails to complete the regulatory element when required -
Answer✔️✔️-this individual is RESTRICTED from receiving compensation for
performing any activities that require registration
Who can make a catch-up contribution to a traditional IRA? - Answer✔️✔️-People
over 50!
What is regular way settlement when trading listed options contracts? -
Answer✔️✔️-T+1.... T+2 when it is equity options
Which of the following activities would have the smallest impact on a
corporation's capital structure? - Answer✔️✔️-Issuance of listed options
Which of the following statements regarding a shelf registration is most accurate? -
Answer✔️✔️-A shelf registration is valid for 3 years and ONLY on follow-on
offerings
ABC Corp. is looking to raise capital overseas and avoid SEC registration exempt
transaction to use - Answer✔️✔️-Regulation S
When must a market maker post its firm, 2-sided quotes? - Answer✔️✔️-9:30-4pm
EST
A market maker who fails to honor a firm quote has engaged in - Answer✔️✔️-
BACKING AWAY
If a customer claim exceeds the SIPC coverage limits - Answer✔️✔️-the customer
becomes a general creditor of the BD
A client is unhappy with investment options at his current IRA provider and wants
to move money... - Answer✔️✔️-He should engage in a rollover, which must be
completed within 60 days to avoid potential tax liabilities
An annuitant may pay a surrender charge... - Answer✔️✔️-when selling an annuity
1035 Exchanges enable investors to - Answer✔️✔️-make a tax-free transfer of one
annuity contract for another
Which type of investment company product issues a single class of shares only and
trades on the market at a discount or premium to its NAV? - Answer✔️✔️-Closed-
end company
A company's stock is listed on the NYSE. Which of the following could result in
the company being delisted? - Answer✔️✔️-bankruptcy, low trading volume,
declines in public interest, does not mail out proxy statements
A municipal note that is typically funded by non-tax revenue is a - Answer✔️✔️-
RAN (revenue anticipation note)
When a redemption of mutual fund shares is requested, the fund must redeem
shares within - Answer✔️✔️-7 calendar days
A customer with an income objective believes that interest rates are likely to fall
over the next 10 years. Of the following, which two are most suitable for this
customer? - Answer✔️✔️-A 10-year non-callable bond, A long term bond with a put
feature after 5 years
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